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Lead Operations Specialist

Job ID: R-001699 Date posted: 11/08/2017 Primary Location CA-San Diego

The Team Lead is responsible for leading and coordinating the department workflows, overseeing specialists and senior specialists, handling escalated issues, reconciliation, compiling metrics and assisting department management with evaluation of staff performance.  The ideal candidate has excellent analytical skills and will be expected to review client accounts, answer questions from internal and external clients, escalate items to management, and follow up on pending items in a timely manner. Additionally, the ideal candidate will be a team player, possess excellent time management skills, and work well in a fast paced environment, with the ability to multi task with multiple operational processes and multiple data input platforms. The Team Lead will also assist the management team in establishing and monitoring Key Performance Indicators and savings.  Lastly, they will be asked to assist with the daily review, quality control and approval of transactions as well.

Workflow Management - The Team Lead is responsible for managing the day to day operations of the department with responsibilities including but not limited to re-allocating workloads for team members, evaluating volumes, assessing productivity, ensuring SLAs are met and providing daily/weekly metrics. The Team Lead also will be responsible for daily reconciliations, managing error rates, exception review processing and daily reporting.  Other duties could also include policy and procedures reviews and presentations to the staff. The Team Lead will also work on vendor management and interact with offshore staff.  40%

Service Management - The Team Lead is responsible for handling escalated advisor and/or client issues.  The Team Lead will work closely with the front line staff, Service Center, Financial Advisors, and third parties to review and resolve issues.  As needed the Team Lead may be asked to answer inbound calls from the Service360 teams, General Service Center, and CCS Service Center. Research and process service requests that are created by Service360 teams, General Service Center, and Specialized Service Teams.  30%

Cross-Training and Operation Procedures - Managing cross training process to ensure that teams are following training and cross-training process. Ensure that procedures are maintained and periodically reviewed. Assess and provide recommendations to management on potential policy and procedures enhancements for the benefit of the department.  20%

Responsible for daily quality control, managing error rates, exception review processing and daily reporting.  10%

Other Job Duties:

Be proactive and remain cognizant of deadlines and regulatory requirements. Effective communication with advisors and other operational groups to resolve various account discrepancies. Coordinating business unit efforts to provide timely status updates and accurately resolve service requests. Serving as the quality control point to ensure requirements and procedures are followed. Collaborating with other teams to align workflow expectations and commitments. Evaluating and assessing inquiries; escalating issues that require expedited service. Developing an intensive knowledge of departmental tasks; supplementing functions as necessary to fulfill expectations. Investigating all instances where departmental service level agreements are not being met. Monitoring the team’s timely adherence to data quality protocols through dashboards and reports . Actively participates in learning activities in a way that makes the most of the learning experience by applying to daily responsibilities. Recognizes issues, problems, or opportunities and determines whether action is needed. Makes connections & offers creative recommendations on how to solve business challenges.

Series 99 Required.  Series 7 Preferred.

Our Company:

LPL Financial, the nation’s largest independent broker/dealer since 1996* and the fourth largest broker/dealer overall, serves as an enabling partner to more than 14,000 independent financial advisors and approximately 700 financial institutions. Since its formation decades ago, LPL has focused on one primary mission -- enabling independent financial advisors to bring objective and un-biased financial advice to millions of Americans. 

Headquartered in Boston, San Diego, and Fort Mill, and powered by more than 3,300 client-centric employees, LPL is financially strong and growing.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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